FTA O 1330.1FPage 1

1-24-07

/ ORDER
U.S. Department
of Transportation
Federal Transit
Administration
FTA O 1330.1F
January 24, 2007
Subject: /

FEDERAL TRANSIT ADMINISTRATION CLEARANCE

OF PUBLIC INFORMATION COLLECTION AND

RECORDKEEPING REQUIREMENTS

1. PURPOSE. This order implements the provisions of 44 U.S.C. Chapter 35, "The Paperwork Reduction Act of 1995," as amended, and 5 CFR, Part 1320, "Controlling Paperwork Burdens on the Public." It also establishes and assigns responsibility for the Federal Transit Administration (FTA) clearance procedures for information collection and recordkeeping requirements.

2. CANCELLATION. This order cancels FTA Order 1330.1E, "Federal Transit Administration Clearance of Public Information Collection and Recordkeeping Requirements," dated 8-30-99.

3.REFERENCES.

a.44 U.S.C. Chapter 35, "The Paperwork Reduction Act of 1995," as amended.

b.5 U.S.C. 552a, The Privacy Act of 1974.

c.44 U.S.C. 3504, “Government Paperwork Elimination Act (GPEA),” dated 11-23-98.

d. 5 CFR Part 1320, "Controlling Paperwork Burdens on the Public."

e.DOT Handbook 1350.2, "Departmental Information Resources Management Manual," dated 3-31-93.

f.FTA Order 1100.50D, “Federal Transit Administration Delegations of Authority,” dated 11-01-05.

4.DELEGATIONS OF AUTHORITY. Delegations related to information collection and recordkeeping requirements can be found in FTA Order 1100.50D, “Federal Transit Administration Delegations of Authority.”

5.POLICY. The cited references specify that no federal agency may conduct or sponsor the collection of information from or the requirement to keep records of ten or more persons (other than federal employees) unless prior approval has been obtained from the Office of Management and Budget (OMB). Each fiscal year the agency shall prepare an Information Collection Budget (ICB) which will include all proposed information collection or recordkeeping requirements to be imposed on the public during the coming fiscal year.

  1. APPLICABILITY. The provisions of this order apply to all information collection/

recordkeeping requirements imposed by FTA, including those performed under FTA contracts and grant applications.

7. EVALUATION OF PUBLIC INFORMATION REQUESTS AND RECORDKEEPING REQUIREMENTS. As FTA's Chief Information Officer the Associate Administrator for Administration has overall responsibility for managing the paperwork reduction process. Under the Associate Administrator, the Office of Management Planning is charged with the responsibility of reviewing each information collection request for completeness and recommending to the originating office appropriate reductions in the public burden or the possible termination of the report, survey, or recordkeeping requirement.

8.RESPONSIBILITY FOR ESTABLISHING INFORMATION COLLECTION REQUESTS AND RECORDKEEPING REQUIREMENTS.

a.The Office of Management Planning is responsible for the overall coordination and direction of FTA's information collection and recordkeeping requirements and for performing the following functions:

(1)Reviews all information collection requests and assists in obtaining clearances as specified in 44 U.S.C. Chapter 35.

(2)Serves as liaison with the Office of the Secretary (OST) and OMB for approval of all information collection requests.

(3)Prepares the annual ICB based on information received from FTA offices. This information is obtained by conducting an annual survey of FTA offices. Public information collection requests which are not submitted during this period are submitted on an individual basis to OMB with the approval of OST's Office of the Chief Information Officer (CIO).

(4)Represents FTA (along with appropriate FTA officials) at OST/OMB meetingsto discuss paperwork reduction activities.

b.The originating office is any office planning to conduct, sponsor, or request information from the public or require the public to keep records. The originating office has the responsibility to:

(1)Notify the Office of Management Planning whenever the need for a new collection is determined. Any planned collections should also be submitted for inclusion in the annual ICB request.

(2) Prepare the formal OMB approval package for submission to the Office of Management Planning for review.

9.CLEARANCE PROCEDURES FOR INFORMATION COLLECTION REQUESTS AND RECORDKEEPING REQUIREMENTS.

  1. The originating office:

(1)Completes the 83-I, “Paperwork Reduction Act Submission” and the supporting statement. (OMB 83-I, instructions and the supporting statement can be obtained from the Office of Management Planning.)

(2) Prepares the 60-day Federal Register Notice (in conjunction with the Office of Chief Counsel and the Office of Management Planning) to inform the public of the planned collection and provide the 60 days for public comment. A copy of this notice is included in the approval package.

(3)Attaches the pertinent section of the directive or regulation that contains the paperwork burden, if appropriate.

(4) Submits the completed package to the Office of Management Planning for review and submission to OST’s CIO.

(5) Evaluates and responds to comments from the public, if any, for the 60 and 30- day Federal Register Notices.

  1. The Office of Management Planning:

(1)Reviews the completed package from the originating office.

(2)Submits the 60-day Federal Register Notice to the Office of the Associate Administrator for Administration for approval. The approved notice is then forwarded to the Office of Chief Counsel for publication.

(3)Prepares and submits the 30-day Federal Register Notice to the Office of the Associate Administrator for Administration for approval, after therequirement for the 60-day Federal Notice has been satisfied. The approved notice is then forwarded to the Office of Chief Counsel for publication.

(4) Submits the OMB approval package to OST’s CIO. If approved by OST’sCIO, the package is then forwarded to OMB. (In submissions that include statistical surveys, the package is forwarded through OST’s CIO to the Bureau of Transportation Statistics (BTS). The request is then forwarded by OST’sCIO to the appropriate OMB office or Desk Officer for review and approval.

(5)Retains a copy of the approved package and the Notice of OMB's Action. Forwards a copy of the notice of OMB's official approval to the originating office to initiate the information collection or recordkeeping requirement.

c.OST/OMB’s procedures:

(1) OMB has 60 days to review the request. The review period may, however, be extended for a period not to exceed 30 days. FTA’s Administrator may request the Director of OMB to authorize the collection of information prior to expiration of the 60-day period if the information collection is so significant that it cannot wait for a 60-day review period.

(2)OMB assigns an approval number to the approved package and sends a "Notice of OMB Action" to OST’s CIO which includes the approval number and the new expiration date. The maximum approval period is usually 3 years. OMB may grant conditional approvals for less than 3 years in some instances if they require additional information or justification. OST’s CIO forwards a copy of the notice of action to the Office of Management Planning.

10.REQUESTS FOR EXTENSION OF APPROVAL OF INFORMATION COLLECTIONS. Any requests for extension of approval are coordinated with the Office of Management Planning and must be approved by OMB. The clearance procedures stated above are also used when requesting an extension of approval.

11. REQUESTS FOR APPROVAL OF INFORMATION COLLECTIONS CONTAINED IN NOTICE OF PROPOSED RULEMAKINGS (NPRMs) AND FINAL RULES. These requests are coordinated with the Office of Management Planning, the Office of Chief Counsel and the originating office.